Description
Join RIA Compliance Consultants’ President Bryan Hill and Senior Compliance Consultant Jarrod James in conversation as they share insights and advice regarding key areas of regulatory focus during examinations, Risk Alerts issued by the SEC’s Office of Compliance Inspections and Examinations, and SEC regulatory actions from the perspective of what they saw or heard in 2021.
This webinar was presented live on Wednesday, December 15 at 12:00 PM CST.
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